| 22-00868 | 12/06/2022 | Claimant(s): Stephen Williams
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): NEXT Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Harvey R. Linder, Nathan Allen Collins, Cynthianther May
Hearing Site: Birmingham, AL
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| 21-02507 | 12/05/2022 | Claimant(s): Michael Miller
Claimant Lawyers(s): Gregg Adler
Respondent(s): TD Private Client Wealth LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Edward S. Hill, Patrick Leo Kennedy, Peter E. Gillespie
Hearing Site: Hartford, CT
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| 21-02947 | 12/05/2022 | Claimant(s): Joseph Scotto
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Weiner
Arbitrator(s): Harvey Barrison, Jeffrey P. Bachmann, John Warner Lowe
Hearing Site: New York, NY
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| 22-00364 | 12/05/2022 | Claimant(s): Jason Abbamonte
Claimant Lawyers(s): Harris Freedman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
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| 22-00418 | 12/05/2022 | Claimant(s): Jeffrey Golubeff
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Invest Financial Corporation, J.W. Cole Financial Inc.
Respondent Lawyers(s): John Hitchings, Samuel N. Kopmar
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
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| 22-02135 | 12/05/2022 | Claimant(s): Harrison Hoyes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 22-00151 | 12/02/2022 | Claimant(s): Gregory Feldman
Claimant Lawyers(s): Zachary Morse
Respondent(s): Lord Abbett Distributor LLC
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
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| 22-01395 | 12/02/2022 | Claimant(s): Samuel Head
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Harvey R. Linder, Christopher Cecil Lamb, Larry Kenneth Lott
Hearing Site: Columbia, SC
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| 19-02755 | 11/30/2022 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): John Carroll
Respondent Lawyers(s): John Francis Carroll
Arbitrator(s): Kimberly A. Gilmour, Dennis J. Levin, Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 22-00299 | 11/30/2022 | Claimant(s): Tyrone Chaplin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC
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